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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2022-04-27
TX RA APPROVED 2011-01-08
VA RA APPROVED 2009-03-27
  • LA RA
    APPROVED
    Since 2022-04-27
  • TX RA
    APPROVED
    Since 2011-01-08
  • VA RA
    APPROVED
    Since 2009-03-27

Branch Locations

222 Central Park Ave Ste 1920, Virginia Beach, VA 23462-3037 • United States

Virginia Beach, VA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Virginia Beach VA 03/2009 03/2020
Ameriprise Financial Services, Llc Virginia Beach VA 03/2020 Present
Previous Registrations
  • 2006-02-21 → 2009-04-15
    Virginia Beach, VA
    New York, NY
  • 2002-01-30 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Virginia Beach, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-12-04
S65 Uniform Investment Adviser Law Examination 1997-10-13
S63 Uniform Securities Agent State Law Examination 1995-05-02
  • S66 Uniform Combined State Law Examination
    2001-12-04
  • S65 Uniform Investment Adviser Law Examination
    1997-10-13
  • S63 Uniform Securities Agent State Law Examination
    1995-05-02

View on SEC IAPD

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